the firm meets its regulatory obligations under FCA rules, particularly in relation to advisory services and SIPP... preparation and submission of FCA regulatory filings and returns, ensuring accuracy and timely delivery. Regulatory Research...
from internal sources. Ensure that the Sales Team present the approved Finance presentation, in accordance with FCA regulations...
as required by Brown Shipley to meet the company's agreed business plan To conduct your business in accordance with FCA Rules and Internal...
and associated regulatory obligations. You have strong technical knowledge of FCA regulatory frameworks relevant to authorised firms..., particularly investment businesses, including SYSC, COBS, AIFMD, MiFID, and FCA FUND requirements. You have experience managing...
and cooperative with the FCA, the PRA and other regulators Pay due regard to the interests of customers and treat them fairly...
to detail, and full compliance with company policies, procedures, and industry regulations (including FCA requirements...
to detail, and full compliance with company policies, procedures, and industry regulations (including FCA requirements...
from internal sources. Ensure that the Sales Team present the approved Finance presentation, in accordance with FCA regulations...
working knowledge of relevant regulations (e.g. FCA Handbook, JMLSG, FATF, MLRs, PSRs) A degree (2:1 or above) â³ 3+ years...
must be aware that it is a Certified Role, subject to the FCA and PRA Certification Regime. The Certification Regime... by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety: Honesty, integrity...